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A Survey of Short-Selling Regulations

Author

Listed:
  • Amy K Edwards
  • Adam V Reed
  • Pedro A C Saffi

Abstract

Given the complex and controversial nature of short-selling regulation, we review the academic literature and provide insights for policy makers and academics. We organize the complex history of short-selling regulation into three areas: trading restrictions, securities lending regulations, and disclosure requirements. We identify, analyze, and discuss 45 distinct regulations promulgated from 1896 to 2021, primarily by reviewing the academic literature and the data sources employed. We provide several insights regarding the effectiveness of regulatory approaches and the wider impact of short-selling regulation on markets. (JEL G2, G12, G14, G15, G34)

Suggested Citation

  • Amy K Edwards & Adam V Reed & Pedro A C Saffi, 2024. "A Survey of Short-Selling Regulations," The Review of Asset Pricing Studies, Society for Financial Studies, vol. 14(4), pages 613-639.
    • Handle: RePEc:oup:rasset:v:14:y:2024:i:4:p:613-639.
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    File URL: http://hdl.handle.net/10.1093/rapstu/raae011
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    More about this item

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • G12 - Financial Economics - - General Financial Markets - - - Asset Pricing; Trading Volume; Bond Interest Rates
    • G14 - Financial Economics - - General Financial Markets - - - Information and Market Efficiency; Event Studies; Insider Trading
    • G15 - Financial Economics - - General Financial Markets - - - International Financial Markets
    • G34 - Financial Economics - - Corporate Finance and Governance - - - Mergers; Acquisitions; Restructuring; Corporate Governance

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